‘Enforcement 40’ for 2020
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By Securities Docket on June 30, 2015, 12:51 pm
Goldman, Sachs & Co. will pay $7 million to settle charges of violating the market access rule in connection with a trading incident that resulted in erroneous executions of options contracts. Goldman Sachs neither admitted nor denied the charges. via Goldman Sachs Neither Admits Nor Denies, to Pay $7 Million to Settle SEC Charge — Corporate […]
By Securities Docket on June 30, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for June 29, 2015.
By Securities Docket on June 29, 2015, 5:17 pm
Chief Justice John G. Roberts Jr. said during his confirmation hearing that “judges are like umpires,” and as every baseball fan knows, each umpire has a different strike zone. The Securities and Exchange Commission is learning the hard way that having an unfavorable umpire can hurt its cases as it tries to fend off challenges […]
By Securities Docket on June 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for June 28, 2015.
By Securities Docket on June 28, 2015, 5:52 pm
It took me over five years, but here, finally, is a 2015 update to my list of “15 People All Securities and Corporate Litigators Should Follow on Twitter.” via My 15 ‘Must-Follows’ on Twitter — 2015 Edition | Compliance Week.
By Securities Docket on June 28, 2015, 10:07 am
What does the Department of Justice think is a high-quality internal investigation? How does DOJ decide whether an investigation was good enough to help a company avoid, or at least mitigate, criminal charges? In recent speeches, DOJ has provided important guidance on its view of best practices, and some useful common-sense reminders, for our clients’ […]
By Securities Docket on June 27, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for June 26, 2015.
By Securities Docket on June 26, 2015, 11:19 am
Shortly after Utah introduced the nation’s first “White Collar Crime Offender Registry” to help fight affinity fraud, the state’s Attorney General charged a father and son with 15 counts of securities fraud in which they allegedly exploited their membership in The Church of Jesus Christ of Latter-day Saints to win the trust of prospective investors. […]
By Securities Docket on June 26, 2015, 9:51 am
I have two main thoughts. First, sound information handling practices, and appropriate wariness among professionals using email, still go a long way toward securing confidential data within organizations. It’s often not the most technologically advanced tactics that yield the worst data breaches. Second, FIN4 has embarked on a complex money-making plan. There may be many […]